Eligible Training Programmes

Programme

Course

Asset Management Fundamentals Programme

Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*)

(15-hour foundation class)

Module 2 - Financial Markets (*)

Module 3a - Regulation of Asset Management

(5-hour intensive class)

Module 3b - Regulation of Asset Management

(10-hour foundation class)

Module 4 - Asset Management

Back Office Fundamentals for Wealth and Asset Management Programme

Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*)

(15-hour foundation class)

Module 2 - Financial Markets (*)

Module  3 - Dealing, Clearing and Settlement Practices

Module 4 - Operational requirements under the SFO

Module 5 - Compliance, Risk Management and Controls

Enhanced Competency Framework:

Certified Private Wealth Professional (CPWP) Programme: Module 1 – Technical, Industry and Product Knowledge

Topic 1 - Basic Products: Fixed Income Instruments, Equity Securities and Foreign Exchange

Topic 2 - Derivatives and Structured Products

Topic 3 - Investment Funds and Alternative Investments

Topic 4 - Portfolio Management: Theories and Practices

Topic 5 - Lending and Leverage

Topic 6 - Wealth Planning

Topic 7 - Behavioural Finance

Topic 8 - Customer Relationship Management

Topic 9 - Overview of Private Wealth Management Industry

Topic 10 - Overview of Private Wealth Management Markets: Hong Kong, Mainland China and Asia-Pacific

Overview of Legal and Regulatory Framework for Securities and Futures Industry

防洗錢、最新監管要求及行為規範

The Hedge Fund Masterclass

Advanced Level Seminars

Virtual Banking Landscape and Recent Developments

Essentials of Virtual Asset Compliance

ESG Digitalisation - What’s a Good Way to Structurally Manage ESG Data

Essentials for Transitioning to a Net-Zero Portfolio

Virtual Assets 360: What Asset Managers, Brokers, and Traders Need to Know to Succeed in Virtual Assets

ESG and Climate Finance with Update from COP26

Reframing the Future of Asset Management Industry

Fostering Hong Kong’s Development as an Asset Management Hub

The Essentials of Running a Family Office

The SFC’s Regulatory Approach to Virtual Assets

Navigating Climate Risk for Asset Managers

 Digital Assets for Portfolio Management

 強積金中介人操守及強積金制度發展

AML/CFT in the Cayman Islands Regime

Portfolio Management: How Roboadvisors apply Modern Portfolio theory

Programme

Course

 Postgraduate Diploma in Credit Management/ Treasury Management/ Operations Management for Certified Banker(^#)

1

Bank Asset and Liability Management

2

Treasury Markets and Operations

3

Banking Law and Practice

4

Operational Risk Management

1

Regulatory Environment for Banking and Financial Planning (RWM)

2

Investment Planning (RWM)

3

Essentials of Banking (RWM)

4

Insurance and Retirement Planning (RWM) 

5

Investment and Asset Management –
Product Solutions (RWM)

6

Investment and Asset Management –
Alternatives and Wealth Solutions (RWM)

7

Financial Planning and Wealth Management (RWM) 

Enhanced Competency Framework Programme

1

Advanced Certificate for ECF on Anti-Money Laundering and Counter-Financing of Terrorism

Enhanced Competency Framework:

Certified Private Wealth Professional (CPWP) Programme: Module 2 – Ethics and Compliance

1

Regulatory Regime in Hong Kong and Requirement on Sale of Investment Products

2

Relevant Laws and Regulations relating to Client Engagement and Relationship Building

3

Ethics and Practical Application of Legal and Regulatory Requirements for Private Banking

4

Risk Management, Risk Governance and Risk Culture of Private Wealth Management Institutions

Certificate for Module (Enhanced Competency Framework on Anti-Money Laundering and Counter-Financing of Terrorism Professional Level)*

-

Executive Certificate in Family Office Management and Wealth Inheritance

-

Executive Certificate in Applied Financial Risk Management

-

Executive Certificate in FinTech

Executive Certificate in RegTech

Executive Certificate in Fund Administration and Regulatory Compliance

Trust Training Certificate (TTC)

Unit 1 - Introduction to Trusts

Unit 9 - The Contents of Trusts and Drafting

Unit 10 - Testamentary Issues & Avoiding Testamentary Disputes

Unit 11 - International Tax - Part 1

Unit 13 - Family Office

Unit 14 - Foundations Law – Part 1

Unit 17 - Trusts and Issues for PRC Nationals

Unit 18 - Trusts for Security Arrangements, Commercial and Employee Benefit Needs

Unit 19 - Collective Investment Schemes – Part 1 Private Arrangements

Unit 20 - Collective Investment Schemes – Part 2 Public Offering Arrangements

Unit 21 - Hong Kong Mandatory Retirement Schemes Trusts - MPF

Unit 22 - Hong Kong Private Retirement Schemes Trusts – ORSO

Qualified Retirement Adviser (QRA) Education Program

Certificate in Innovative Family Office Management and Wealth Inheritance

-

Green Finance for Wealth and Asset Management (WAM) Professionals